SEC Form 4 · accession 0001140361-17-031417
BERRY GLOBAL GROUP INC · BERY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan D Rich
Officer — Executive Chairman · Director
Period of report
Aug 9, 2017
Accepted (ET)
Aug 11, 2017 · 4:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001378992
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 9, 2017 | M | 112,687 | $6.12 | A | 338,037 | D | |
| Common StockF2 | Aug 9, 2017 | D | 112,687 | $56.9864 | D | 225,350 | D | |
| Common Stock | Aug 10, 2017 | M | 74,022 | $6.12 | A | 299,372 | D | |
| Common StockF3 | Aug 10, 2017 | D | 74,022 | $57.0504 | D | 225,350 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4 | $6.12 | Aug 9, 2017 | M | 112,687 | A | — | Oct 3, 2020 | Common Stock | 112,687 | 2,797,638 | D |
| Employee Stock Option (Right to Buy)F4 | $6.12 | Aug 10, 2017 | M | 74,022 | A | — | Oct 3, 2020 | Common Stock | 74,022 | 2,723,616 | D |
Explanation of responses
- F1Sale pursuant to trading plan meeting the requirements of SEC Rule 10b5-1 adopted by the reporting person on May 24, 2017.
- F2Weighted average from 51 transactions with prices ranging from $56.72 to $57.24 per share. Upon request by the Commission Staff, the issuer, or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares purchased at each separate price.
- F3Weighted average from 81 transactions with prices ranging from $56.755 to $57.43 per share. Upon request by the Commission Staff, the issuer, or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares purchased at each separate price.
- F4Granted under the 2006 Equity Incentive Plan. Option vest on each of the first five anniversaries of the date of grant, subject to the terms and conditions of the plan and award agreement.